TS16949 第四版认可规则 10-08.ppt

1、Rules 4th Edition of TS 16969 第四版认可规则,1,AIAG Shanghai Jolly Ji Tel. 86-21-50272721 Email : ,ONLY FOR REFERENCE Rules for achieving IATF recognition, 4th edition OFFICIAL FILE PLEASE CONNECT TO:,OTHER AUDIT TYPES第七章 其他审核类型,Section 7.0,-,2,New Requirements and Clarifications to Rules 4th edition 第四版规则

2、新要求和澄清事项,-,3,Summary of the changes变化部分概要: Added new subsections 7.1- 7.1.1- 7.1.2 7.2 and significant rewordings to include Rules S.I.:2,11,15,16,18 and FAQ 10 增加新章节7.1- 7.1.1- 7.1.2 7.2 , 并大部分重排以包含规则SI 2,11,15,16,18和FAQ 10,7.0 Other audit types 其他审核类型,A transfer audit occurs when an ISO/TS 16949 c

3、ertified client decides to change certification bodies. The new certification body shall advise the client not to cancel the contract with the existing certification body prior to the completion of all the transfer activities. 当ISO/TS 16949认证客户决定更换认证机构的时候，发生转移审核。新的认证机构应建议客户在完成所有转移活动之前，不要取消与现有认证机构的合同

4、 Rationale更改原因: Incorporates Rules 3rd Edition, section 7.0, 3rd paragraph.,7.1 Transfer audit 转移审核,-,4,7.1.1 Activities prior to the start of the transfer audit: 在转移审核开始之前的活动: b) the existing certificate shall be valid. Clients with certificates withdrawn or canceled are not eligible for a transfer

5、 audit, 现有证书是有效的。证书撤销或注销的客户没有转移审核的资格 there must be a minimum of three years (-3 months), or 2 years 9 months minimum, between two transfer audits, 两次转移审核应最少间隔三年（-3个月）或两年九个月 Rationale更改原因: Incorporates Rules 3rd Edition FAQ N10 and clarify what is meant as “valid certificate”.,7.1 Transfer audit 转移审核

6、,-,5,7.1.1 Activities prior to the start of the transfer audit (cont.): 在转移审核开始之前的活动: the new certification body shall not transfer a client in any IATF OEM special status condition until after the existing certification body has conducted at least one onsite audit to verify the effective implementa

7、tion of the identified corrective actions, 新的认证机构不得转移处在任何IATF OEM特殊状况下的客户，直至现有认证机构至少进行过一次现场审核，验证了已确认纠正措施的有效实施情况 Rationale更改原因: Incorporates Rules 3rd Edition S.I. N18,7.1 Transfer audit 转移审核,-,6,7.1.1 Activities prior to the start of the transfer audit (cont.): 在转移审核开始之前的活动 f) the client cannot have

8、 their current ISO/TS 16949 certification in suspension status. If the certificate was suspended within the previous twelve (12) months and the suspension was initiated due to 8.1 a), b), or c), the new certification body shall not transfer the client until after the existing certification body has

9、conducted at least one onsite audit to verify the effective implementation of the identified corrective actions, 客户当前ISO/TS 16949认证不得处于暂停状态。如果在之前十二（12）个月内，证书由于第8.1 a、b或c条暂停，新的认证机构不得转移客户，直至现有机构至少进行过一次现场审核，验证了已确认纠正措施的有效实施情况 Rationale更改原因: Incorporates Rules 3rd Edition S.I. N18,7.1 Transfer audit 转移审核

10、,-,7,7.1.1 Activities prior to the start of the transfer audit (cont.): 在转移审核开始之前的活动 the client shall provide the new certification body with the audit reports from the previous three (3) years, including evidence that all nonconformities issued by the existing certification body for the site and an

11、y remote support functions are closed. 100% resolution is not acceptable, 客户应向新的认证机构提供过去三（3）年的审核报告，包括证明现有认证机构发布的现场和任何外部支持功能的所有不符合项已经关闭的证据。不接受100%解决 Rationale更改原因: To allow the new certification body to have a better knowledge of the client over a full three year audit cycle,7.1 Transfer audit 转移审核,-

12、,8,7.1.1 Activities prior to the start of the transfer audit (cont.): 在转移审核开始之前的活动 j) the new certification body shall ensure that the audit team members have not previously audited the client. “Not previously audited” means that an audit team member has not participated in the audit team for at lea

13、st one (1) full three (3) year audit cycle. 新的认证机构应确保审核组成员之前没有审核过客户,“之前没有审核过”指审核组成员至少在一（1）个完整的三（3）年审核周期没有加入审核组 Rationale更改原因: Incorporates Rules 3rd Edition S.I. N15,7.1 Transfer audit 转移审核,-,9,7.1.1 Activities prior to the start of the transfer audit (cont.): 在转移审核开始之前的活动 k)the new certification bo

14、dy shall contact their relevant Oversight office to verify the following information: -the client did not transfer from another IATF-recognized certification body within the previous three (3) year period, -the date of the last initial or recertification audit, -the status of the ISO/TS 16949 certif

15、ication for the past twelve (12) months, the audit team members for the new certification body have not participated on the audit team for at least one (1) full three (3) year audit cycle. 新的认证机构应联系相关监督办公室以验证以下信息： 客户并非在过去三（3）年间从另一家IATF认可的认证机构转移而来； 最后一次初次或再认证审核的日期； 过去十二（12）个月ISO/TS 16949认证的状态； 新的认证机构

16、审核组成员至少在一（1）个完整的三（3）年审核周期没有加入审核组 Rationale更改原因: Incorporates Rules 3rd Edition S.I. N18,7.1 Transfer audit 转移审核,-,10,The audit planning and conduct of the transfer audit shall comply with all requirements defined in section 6.8. 审核策划和执行应满足第6.8条规定的要求 Rationale更改原因: Incorporates Rules 3rd Edition S.I.

17、 N11,7.1 Transfer audit 转移审核,-,11,The new certification body shall complete all transfer activities, including 7.1.1 a k above and a transfer audit prior to the next scheduled surveillance audit with the previous certification body or the next scheduled recertification audit with the previous certif

18、ication body. 新的认证机构应在原先认证机构计划的下一次监督审核或再认证审核之前，完成所有的转移活动，包括上述7.1.1 a-k条 Rationale更改原因: A transfer audit with open non conformities is not allowed anymore,7.1 Transfer audit 转移审核,-,12,7.1.2 Activities following completion of the transfer audit: 7.1.2转移审核完成之后的活动 When instances of nonconformity are ide

19、ntified, the certification body shall follow the relevant requirements for nonconformity management (see section 5.11). 确认不符合之后，认证机构应按照不符合管理的相关要求进行操作（见第5.11条） Rationale更改原因: Incorporated Rules 3rd Edition, section 6.9 and part of Rules SI 2.,7.1 Transfer audit 转移审核,-,13,7.1.2 Activities following co

20、mpletion of the transfer audit: 7.1.2转移审核完成之后的活动: The certification decision shall be based upon the relevant requirements in section 5.12 and the certification decision shall be made within a maximum of 120 calendar days from the last day of the transfer audit and prior to the expiration date of th

21、e existing valid certificate. 认证决定应根据第5.12条的相关要求，在转移审核最后一天起最多120个日历日内、现有的有效证书到期日前作出 Rationale更改原因: Incorporated part of Rules SI 2.,7.1 Transfer audit 转移审核,-,14,7.1.2 Activities following completion of the transfer audit: 7.1.2转移审核完成之后的活动: The certificate shall be uploaded into the IATF database wit

22、hin twenty (20) calendar days of entering the certificate information. 证书信息录入之后二十（20）个日历日内，应将证书上传至IATF数据库 Rationale更改原因: Incorporated Rules SI 16.,7.1 Transfer audit 转移审核,-,15,It may become necessary for the certification body to conduct audits of certified clients to investigate performance complai

23、nts (see section 8.1 a/b), in response to changes to the clients quality management system (see section 3.2), significant changes at the clients site or as a result of a suspended certificate (see section 8.3). 认证机构可能有必要对认证客户进行审核，以调查由于绩效投诉（见第8.1 a/b条）导致的客户质量管理体系变化（见第3.2条）、客户现场重大变化或由此导致的证书暂停（见第8.3条）,7.2 Special audit 特殊审核,-,16,A special audit and the reason for the special audit shall be entered into the IATF